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Banc of America Securities
Results: 40

#	Item
31	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-11-24 16:16:48 Finance Financial analyst Securities research Investment banking Banc of America Securities Target price Industry analyst Sales and trading Bank of America Investment Investment banks Financial economics
32	Banc of America Securities LLC with Merrill Lynch, Pierce, Fenner & Smith Incorporated as Successor Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-10 06:34:22 Financial services United States securities law Banc of America Securities Bank of America United States Securities and Exchange Commission Merrill Lynch Securities and Exchange Commission Investment Advisers Act Securities Exchange Act Primary dealers Investment Economy of the United States
33	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 18, 2007 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-26 16:54:02 Investment Disgorgement Banc of America Securities Securities and Exchange Commission Securities Exchange Act Financial economics Government Mutual fund scandal Securities Fraud Deterrence and Investor Restitution Act United States Securities and Exchange Commission Corporate crime Fair Fund
34	Consent of Defendants - Banc of America Securities LLC and Banc of America Investment Services, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-06-03 16:26:57 Bonds Securitization Finance Economics Securities Financial economics Auction rate security
35	Microsoft Word[removed]602e Waiver.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-11 17:19:53 Government Financial regulation Finance New Deal Securities Act SEC filings Securities and Exchange Commission Securities Exchange Act Banc of America Securities United States Securities and Exchange Commission 73rd United States Congress United States securities law
36	Administrative Proceeding: Bear Wagner Specialists, LLC, Fleet Specialist, Inc. (now Banc of America Specialist, Inc.), LaBranche & Co. LLC, Spear, Leeds & Kellogg Specialists LLC, Van der Moolen Specialists USA, Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-03-29 16:22:23 Securities Exchange Act United States securities law Fair Fund LaBranche & Co U.S. Securities and Exchange Commission Financial regulation Government Mutual fund scandal United States Securities and Exchange Commission Corporate crime 73rd United States Congress
37	Administrative Proceeding: Banc of America Securities LLC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-17 16:56:22 Disgorgement U.S. Securities and Exchange Commission Financial economics Government Economics Investment Mutual fund scandal Securities Fraud Deterrence and Investor Restitution Act Corporate crime Fair Fund United States Securities and Exchange Commission
38	Administrative Proceeding: Banc of America Securities LLC, now known as Merrill Lynch, Pierce, Fenner & Smith Incorporated, successor by merger Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-07 12:20:28 United States securities law Stock market 73rd United States Congress United States Securities and Exchange Commission Bond Bidding Bid price Security Securities and Exchange Commission Business Economics Auctioneering
39	UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No[removed]December 29, 2008 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-30 10:15:44 76th United States Congress Ameriprise Financial Columbia Management Group Investment Company Act Banc of America Securities Bank of America Banq Investment company Trust law Financial economics Investment Law
40	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-02 10:38:13 Financial services Institutional investors Financial markets Money market fund Investment Advisers Act Mutual fund Repurchase agreement Banc of America Securities Financial adviser Financial economics Investment Finance

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